Timothy James Caldwell

Current Employers

Employment History

• 04/2016 → Present
  Kestra Advisory Services, Llc
  Greensburg, PA
• 01/2012 → Present
  Kestra Investment Services, Llc
  Greensburg, PA

Previous Registrations

• 2010-03-18 → 2012-01-30
  Voya Financial Advisors, Inc.
  Pittsburgh, PA
  Greensburg, PA
  Greensberg, PA
  Greensburg, PA
  Greensburg, PA

Other Businesses

Name: KBG Realty, LLC Investment Related: No Address: 314 Old Route 30 Greensburg PA 15601 Nature of Business: Real Estate Position, Title or Relationship: Partner Start Date: 2/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Partner Name: Keystone Benefits Group Investment Related: Yes Address: 314 Old Route 30 Greensburg PA 15601 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: Vice President Start Date: 1/1/2004 Hours per month: 71% - 80% (113 - 128 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: I provide consulting services to our clients in regards to their retirement and medical plans. I also sell some individual life insurance products. Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Name: KEYSTONE BENEFITS GROUP, INC. POSITION: Vice President NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 120 SECURITIES TRADING HOURS: 105 START DATE: 01/01/2004 ADDRESS: 314 Old Route 30, Greensburg PA 15601, United States DESCRIPTION: I provide consulting services to our clients in regards to their retirement and medical plans. I also sell some individual life insurance products.

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-03-08
• S63 Uniform Securities Agent State Law Examination
  1999-12-22